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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

RICHARD STEPHEN BARTHOLOW

Advisor at SNOWDEN CAPITAL ADVISORS LLC

NEW YORK, NY | Bluffton, SC

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 6, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SNOWDEN CAPITAL ADVISORS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 28, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Feb 28, 1991
First registration: May 6, 2002
Dual registered: yes, broker-dealer
Other names: RICHARD STEPHEN BARTHOLOW JR
IAPD individual key: 2070305

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SNOWDEN CAPITAL ADVISORS LLC	Bd affiliated wealth	Feb 21, 2023	n/a	yes	Bluffton, SC\|NEW YORK, NY	Current employment
MORGAN STANLEY	Wirehouse	Jan 8, 2010	Mar 8, 2023	no	Hanover, NH\|Hilton Head Island, SC\|Bluffton, SC\|Bluffton, SC	Previous registration
CARRET ASSET MANAGEMENT, LLC	Mixed wealth	Jun 7, 2004	Jan 14, 2010	no	HANOVER, NH	Previous registration
CARRET AND COMPANY, LLC.	n/a	May 6, 2002	Jun 3, 2004	no	HANOVER, NH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	SNOWDEN CAPITAL ADVISORS LLC	Mar 8, 2023	Feb 21, 2023	-15	Firm change	Wirehouse to ibd
CARRET ASSET MANAGEMENT, LLC	MORGAN STANLEY	Jan 14, 2010	Jan 8, 2010	-6	Firm change	Other
CARRET AND COMPANY, LLC.	CARRET ASSET MANAGEMENT, LLC	Jun 3, 2004	Jun 7, 2004	4	Firm change	Other

Relationships

Registered with (4)

→ SNOWDEN CAPITAL ADVISORS LLCRegistered adviserregistration: current employment
Feb 21, 2023 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jan 8, 2010 to Mar 8, 2023factForm ADV
→ CARRET ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 7, 2004 to Jan 14, 2010factForm ADV
→ CARRET AND COMPANY, LLC.Registered adviserregistration: previous registration
May 6, 2002 to Jun 3, 2004factForm ADV

Dated events

Occurred
Mar 8, 2023
Advisor changed firm
Richard Stephen Bartholow left Morgan Stanley for Snowden Capital Advisors Llc (registered 2023-02-21)
Form ADVobserved 5 days ago